Optical element for free-space propagation between an optical waveguide and another optical waveguide, component, or device

ABSTRACT

An optical element comprises a substantially transparent material having opposing first and second transmission surfaces and a substantially flat mounting surface between them, an alignment mark, and an optical coating. The optical element is mounted self-supporting on a substrate with the mounting surface on a mating portion thereof. With the alignment mark aligned to a corresponding mark on the substrate, waveguides on the substrate can be end-coupled by reflection from the first transmission surface. The transmission and mounting surfaces are arranged to position the transmission surfaces at respective orientations relative to the substrate surface so that an optical beam propagating substantially parallel to the substrate surface and entering the optical element through the first transmission surface propagates as an optical beam through the optical element above the mounting surface and exits the optical element through the second transmission surface. The optical element can further include a lens or an aperture.

BENEFIT CLAIMS TO RELATED APPLICATIONS

This application is a continuation of U.S. non-provisional applicationSer. No. 12/114,605 filed May 2, 2008 (now U.S. Pat. No. 7,622,708issued Nov. 24, 2009), which in turn claims benefit of U.S. provisionalApp. No. 60/915,677 filed May 2, 2007, both of said applications beinghereby incorporated by reference as if fully set forth herein.

BACKGROUND

The field of the present invention relates to optical elements. Inparticular, optical elements are disclosed herein that enable free-spaceoptical propagation between an optical waveguide and another opticalwaveguide, component, or device.

Planar optical waveguides are suitable for implementing a variety ofoptical devices for use in telecommunications and other fields. For thepurposes of the present disclosure and appended claims, the term “planaroptical waveguide” is intended to generally encompass waveguidestructures deposited or otherwise formed on a substantially planarsubstrate. Optical paths defined by or among such planar waveguides canbe arranged in two or three dimensions. In addition to the planarwaveguides, the planar waveguide substrate often also includes (byfabrication and/or placement thereon): alignment or support structuresfor placement of optical components or devices on the substrate;V-grooves or other alignment or support structures for positioning ofoptical fibers and/or fiber-optic tapers on the substrate; compensators,gratings, filters, or other optical components, elements, or devices;electrical contacts or traces for enabling electronic access to activedevices on the substrate; or other suitable components. Reflective ortransmissive optical elements including, but not limited to, mirrors,beamsplitters, beam combiners, filters, lenses, and so forth aredisclosed herein for use with one or more planar optical waveguides thatenable free-space optical propagation between an optical waveguide andanother optical waveguide, component, or device.

Many of the optical waveguides (including both optical fibers and planarwaveguides) described herein have dimensions and design parameters so asto support only one or a few lowest-order optical modes. At visible andnear-IR wavelengths (e.g., those typically employed for optically-basedtelecommunications), the resulting optical modes are typically a few μmup to about 10 or 15 μm in transverse extent. Depending on the nature ofthe waveguide, the guided optical mode(s) may be nearly cylindricallysymmetric, or may differ substantially in transverse extent alongsubstantially orthogonal transverse dimensions. Modes of thesewavelengths and sizes typically exhibit diffractive behavior uponemerging from the end face of the supporting waveguide and propagatingas an optical beam, typically (but not always) becoming substantiallydivergent sufficiently far from the end face of the supporting waveguide(NA often greater than about 0.1). Accordingly, one or more of thefollowing adaptations may be required to achieve a degree of opticalpower transfer above an operationally acceptable level between anend-coupled waveguide and another optical component or device: maintainthe unguided optical pathlength between the waveguide and the otherwaveguide, component, or device as small as practicable for a particularoptical assembly; adapt the end portion of the waveguide or the otherwaveguide, component, or device for mitigating the diffractive behaviorof the optical beam beyond the waveguide; or insert one or moreadditional optical elements between the waveguide and the otherwaveguide, component, or device for refocusing, re-imaging, or otherwisemanipulating the beam spatial properties for enhancing end-couplingbetween the waveguide and the other component or device.

It is often the case in a waveguide-based optical system or in awaveguide-based multi-component optical device that opticalfunctionality is to be provided that cannot be readily implementedwithin a waveguide, and must therefore be provided by a reflective ortransmissive optical element interposed in the optical path wherein anoptical signal propagates as an optical beam (reflected from areflective optical element or transmitted through a transmissive opticalelement). In order to implement optical functionality in this way whilemaintaining overall transmission through the optical system at or abovean operationally acceptable level, it is typically necessary to adaptthe optical system or multi-component optical device as described in thepreceding paragraphs.

For purposes of the present disclosure or appended claims, the term“optical beam” shall denote so-called free-space propagation of anoptical signal, determined by the diffractive behavior ofelectro-magnetic waves and substantially unconfined by any sort ofrefractive index variation, gradient, or structure that would result inwaveguide-like behavior. Such free-space optical propagation can occurthrough vacuum, through air or another gaseous medium, through a liquidmedium, or through a solid medium. In contrast, propagation of anoptical signal that is confined or guided in at least one transversedimension by a refractive index variation, gradient, or structure actingas a waveguide shall be referred to herein as an “optical mode” or a“guided mode.”

The subject matter of the present application may be related to subjectmatter disclosed or claimed in: U.S. Pat. No. 7,031,575; U.S. Pat. No.7,142,772; and U.S. Pat. No. 7,366,379. Each of said patents is herebyincorporated by reference as if fully set forth herein.

SUMMARY

An optical element comprises a volume of substantially transparentmaterial having opposing first and second transmission surfaces and amounting surface between them, an alignment mark, and an optical coatingon the first or the second transmission surface. The optical element canbe mounted self-supporting on a substrate with the mounting surface on amating portion of the substrate. With the alignment mark aligned to acorresponding mark on the substrate, waveguides on the substrate can beend-coupled by reflection from the first transmission surface. The firsttransmission surface, the second transmission surface, and the mountingsurface are arranged so as to position the first and second transmissionsurfaces at respective orientations relative to the substrate surface sothat an optical beam propagating substantially parallel to the substratesurface and entering the optical element through the first transmissionsurface propagates as an optical beam through the optical element abovethe mounting surface and exits the optical element through the secondtransmission surface. The optical element can also include a lens or anaperture.

Objects and advantages pertaining to optical elements and opticalwaveguides may become apparent upon referring to the exemplaryembodiments illustrated in the drawings and disclosed in the followingwritten description and/or claims.

BRIEF DESCRIPTION OF THE DRAWINGS

FIG. 1 illustrates schematically a side view of an optical waveguide andan exemplary optical component with an optical element between them.

FIGS. 2A and 2B illustrate schematically a plan view of opticalwaveguides and an optical component with an exemplary optical elementbetween them.

FIGS. 2C and 2D illustrate schematically a plan view of opticalwaveguides with an exemplary optical element between them.

FIG. 3 illustrates schematically a plan view of fabrication of multipleexemplary optical elements from a single substrate wafer.

FIG. 4 illustrates schematically a plan view of fabrication of anexemplary optical element from a substrate.

FIG. 5 illustrates schematically a cross-sectional view of fabricationof an exemplary optical element from a substrate.

FIG. 6 illustrates schematically a cross-sectional view of fabricationof an exemplary optical element from a substrate.

FIG. 7 illustrates schematically a backside plan view of fabrication ofan exemplary optical element from a substrate.

FIG. 8 illustrates schematically a cross-sectional view of fabricationof an exemplary optical element from a substrate.

FIG. 9 illustrates schematically a cross-sectional view of fabricationof an exemplary optical element from a substrate.

FIG. 10 illustrates schematically a top view of fabrication of multipleexemplary optical elements from a single substrate wafer.

FIG. 11A-11D illustrate schematically front, side, back, and bottomviews, respectively, of an exemplary optical element.

FIGS. 12A and 12B illustrate schematically a top view of opticalwaveguides and an optical component with an exemplary optical elementbetween them.

FIG. 13 illustrates schematically a plan view of fabrication of multipleexemplary optical elements from a single substrate wafer.

FIG. 14 illustrates schematically a backside plan view of fabrication ofan exemplary optical element from a substrate.

FIG. 15 illustrates schematically a cross-sectional view of fabricationof an exemplary optical element from a substrate.

FIG. 16 illustrates schematically a plan view of fabrication of anexemplary optical element from a substrate.

FIG. 17 illustrates schematically a cross-sectional view of fabricationof an exemplary optical element from a substrate.

FIG. 18 illustrates schematically a cross-sectional view of fabricationof an exemplary optical element from a substrate.

FIG. 19 illustrates schematically a top view of fabrication of multipleexemplary optical elements from a single substrate wafer.

FIGS. 20A-20D illustrate schematically front, side, back, and bottomviews, respectively, of an exemplary optical element.

FIGS. 20A and 20B are plan and cross-sectional views, respectively, offabrication of an exemplary optical element from a substrate.

FIGS. 20C and 20D are plan and cross-sectional views, respectively, offabrication of an exemplary optical element from a substrate.

FIGS. 20E and 20F are plan and cross-sectional views, respectively, offabrication of an exemplary optical element from a substrate.

It should be noted that the relative proportions of various structuresshown in the Figures may be distorted to more clearly illustrate thepresent invention. Relative dimensions of various optical devices,optical waveguides, optical fibers, optical components, optical modes,alignment or support members, grooves, and so forth, or portionsthereof, may be distorted, both relative to each other as well as intheir own relative proportions. In many of the Figures the transversedimension of an optical element is enlarged relative to the longitudinaldimension for clarity, which may cause variations of transversedimension(s) with longitudinal position to appear exaggerated.

The embodiments shown in the Figures are exemplary, and should not beconstrued as limiting the scope of the present disclosure or appendedclaims.

DETAILED DESCRIPTION OF EMBODIMENTS

An exemplary optical element 200 is shown schematically in FIGS. 1 and2A-2D mounted on a substrate 102 along with one or more opticalwaveguides. The optical element 200 comprises a volume of substantiallytransparent material having opposing first and second transmissionsurfaces 202 and 204 and a mounting surface 206. The mounting surface206 is arranged between the transmission surfaces 202 and 204 on thelower surface of the optical element 200, below an optical path throughthe optical element 200 defined by a waveguide on the substrate 102 andthe transmission surface 202. This is in contrast to previous opticalelements (disclosed in U.S. Pat. Nos. 7,031,575; 7,142,772; and7,366,379) in which mounting surfaces are displaced laterally from thebeam path through the optical element. The optical element 200 isarranged to be self-supporting with the mounting surface 206 mated witha mating portion 106 of the substrate surface, in contrast to opticalelements requiring a slot or protruding support structure on thesubstrate to hold it in position at a desired orientation. The opticalelement has optical functionality provided on the first transmissionsurface 202 or on the second transmission surface 204. The designations“first” and “second” are used for convenience of description only, anddo not necessarily have any functional significance unless explicitlystated. The first transmission surface 202, the second transmissionsurface 204, and the mounting surface 206 are arranged so as to positionthe first and second transmission surfaces 202 and 204 at respectivedesired orientations relative to the surface of a substrate 102 with themounting surface 206 on the mating portion 106 of the substrate surface.Typically the mounting surface 206 and the mating portion 106 of thesubstrate surface are substantially flat and generally parallel to thesubstrate 102, but this need not be the case. Slanted, tilted, curved,stepped, or otherwise non-planar surfaces can be employed instead. Withthe transmission surfaces 202 and 204 at their respective desiredorientations, an optical beam 10 propagating substantially parallel tothe substrate surface 106 and entering the optical element 200 throughthe first transmission surface 202 propagates through the opticalelement 200 and exits through the second transmission surface 204without being internally reflected within the optical element 200.

Optical functionality can be provided on transmission surface 202 or 204in any suitable way, including but not limited to: (i) one or moreoptical coatings formed on one or both transmission surfaces, e.g., areflective or anti-reflective optical coating, a spectrally-selectivefilter coating, or a dichroic optical coating; (ii) a curved surfaceformed on one or both transmission surfaces, e.g., a curved surfaceacting as a lens; (iii) a spatially-varying surface profile formed onone or both transmission surfaces, e.g., a Fresnel lens; (iv) at leastone spatially-varying optical property of at least one of thetransmission surfaces, e.g., an index-gradient lens; (v) at least oneanisotropic optical property of at least one of the transmissionsurfaces, e.g., a waveplate or polarization rotator; or (vi) at leastone spectrally-varying optical property of at least one of thetransmission surfaces. Other adaptations can be employed for providingoptical functionality on one or both transmission surfaces 202 or 204while remaining within the scope of the present disclosure or appendedclaims.

The optical element 200 can be mounted on the substrate 102 along withan optical waveguide 104 formed on the substrate 102, which may also bereferred to as the waveguide substrate. The optical element 200 ismounted on the waveguide substrate 102 with the mounting surface 206 onthe substantially flat portion 106 of the substrate surface. The opticalelement 200 is positioned so that a portion of an optical signalemerging as an optical beam 10 from an end face of the optical waveguide104 enters the optical element 200 through the first transmissionsurface 202, propagates as an optical beam through the optical element200, and exits the optical element 200 as an optical beam through thesecond transmission surface 204. The optical beam 10 propagates throughthe optical element 200 directly above its mounting surface 206. Aphotodetector 300 can be mounted on the substrate 102 and positioned soas to receive, without transmission through an additional opticalelement, that portion of the optical signal propagating as the opticalbeam 10 transmitted by the optical element 200 (as in FIGS. 1, 2A, and2B). Any photodetector suitable for mounting on substrate 102 can beemployed, including, e.g., a PIN photodiode, an avalanche photodiode(APD), or photodetectors such as those disclosed in U.S. Pat. Nos.6,992,276 and 7,148,465 (each of which is incorporated by reference asif fully set forth herein). Alternatively, the transmitted optical beam10 can propagate through transmission surface 204 and into waveguide 301on substrate 102 (as in FIGS. 2C and 2D).

A curved portion 208 of the transmission surface 204 can be positionedand arranged to act as a lens. Such a lens can act to direct a largerfraction of the optical signal beam 10 onto an active area of thephotodetector 300, relative to the fraction that would have beenreceived by the photodetector without the lens 208 (FIGS. 1, 2A, and2B), or the lens can act to couple a larger fraction of the opticalsignal beam 10 into waveguide 301, relative to the fraction that wouldhave been coupled into the waveguide without the lens. Instead of thecurved portion 208 of the transmission surface 204, the lens can beimplemented in any other suitable way, including a Fresnel lens, anindex-gradient lens, or another lens-like structure or adaptation attransmission surface 204. An antireflective optical coating can beapplied to the second transmission surface 204 or portions thereof(including the lens 208, if present) if needed or desired to enhanceoptical throughput of the optical element 200. A substantially opaquecoating 205 with an opening therethrough can be formed on the secondtransmission surface to act as an aperture if needed or desired tosuppress unwanted optical signals. Such an aperture (if present) can bepositioned to expose at least a portion of lens 208 (if present).

Depending on the fabrication methods employed, the optical element 200may have a protruding portion 207 near or adjacent to the mountingsurface 206. Such a protruding portion can arise, for example, if themounting surface is formed when the optical element is attached to awafer and is subsequently divided from the wafer by cutting or cleaving(described further below). If such a protruding portion 207 of theoptical element 200 is present, a corresponding groove 107 can be formednear or adjacent to the flat portion 106 of the substrate 102 toaccommodate the protruding portion 207 and enable contact between themounting surface 206 and the flat portion 106 of the substrate surface.

Another optical waveguide 108 can be formed on the waveguide substrate102, as illustrated schematically in FIGS. 2A-2D. In FIGS. 2A and 2C thesecond waveguide 108 is positioned so that a portion of an opticalsignal that emerges from an end face of the second optical waveguide 108is reflected from the first transmission surface 202 of the opticalelement 200 and enters the first optical waveguide 104 through its endface (i.e., the waveguides 104 and 108 are end-coupled by reflectionfrom the first transmission surface 202). Reflective opticalfunctionality is provided on the first transmission surface 202 toreflect the optical signal from the second waveguide 108 into the firstwaveguide 104. Such reflective functionality is typically provided by areflective optical coating, e.g., a metallic coating or a multilayerdielectric coating. It is often the case that the reflective coating isa dichroic optical coating, i.e., a coating that transmits over a firstwavelength range while simultaneously reflecting over a secondwavelength range. In the arrangement described above, reflection fromthe first transmission surface 202 also directs an optical signalemerging from the end face of waveguide 104 into waveguide 108 viaend-coupling of the waveguides (as in FIGS. 2B and 2D).

An optical element 200 with a dichroic optical coating on the firsttransmission surface 202 and a lens formed on the second transmissionsurface 204 and arranged according to FIG. 2A or 2C can be employed in abidirectional optical device, e.g., a bidirectional transceiver. Anincoming optical signal 12 in the transmitted wavelength range of thedichroic optical coating propagates along waveguide 104 and emerges asan optical beam 10 from the end face of the waveguide 104. The incomingsignal 12 (propagating as optical beam 10) is transmitted through thefirst transmission surface 202 by the dichroic optical coating,propagates through the optical element 200, and exits through the lens208 on the second transmission surface 204. This transmitted opticalbeam 10 is received, without transmission through an additional opticalelement, by the photodetector 300 or waveguide 301, and the lens 208 canserve to increase the fraction of the transmitted optical beam that isreceived by the photodetector or waveguide. An outgoing optical signal14 in the reflected wavelength range of the dichroic optical coating,e.g., from a laser or other optical source, propagates along the secondoptical waveguide 108 and emerges as an optical beam from the end faceof the waveguide 108. The outgoing signal 14 is reflected from the firsttransmission surface 202 by the dichroic optical coating, enters the endface of waveguide 104, and propagates along waveguide 104. In thearrangement of FIG. 2C, the directions of signals 12 and 14 (and theirrespective roles as incoming and outgoing signals) could be reversed.

An optical element 200 with a dichroic optical coating on the firsttransmission surface 202 and a lens formed on the second transmissionsurface 204 and arranged according to FIG. 2B or 2D can be employed as ademultiplexer. A multichannel incoming optical signal 16, comprisingwavelength-division-multiplexed optical signal portions 16 a and 16 b,propagates along waveguide 104 and emerges as an optical beam 10 fromthe end face of the waveguide 104. The first optical signal portion 16 a(in the transmitted wavelength range of the dichroic optical coating)propagates as optical beam 10, and is transmitted through the firsttransmission surface 202 by the dichroic optical coating, propagatesthrough the optical element 200, and exits through the lens 208 on thesecond transmission surface 204. The first optical signal portion 16 a(transmitted as optical beam 10) is received, without transmissionthrough an additional optical element, by the photodetector 300 orwaveguide 301, and the lens 208 can serve to increase the fraction ofthe transmitted optical beam that is received by the photodetector orwaveguide. A second optical signal portion 16 b (in the reflectivewavelength range of the dichroic optical coating) emerges as an opticalbeam from the end face of the waveguide 104 and is reflected from thefirst transmission surface 202 by the dichroic optical coating, entersthe end face of waveguide 108, and propagates along waveguide 108. Inthe arrangement of FIG. 2D, the directions of signals 16 a and 16 bcould be reversed, with the resulting arrangement functioning as amultiplexer.

One or both transmission surface 202 or 204 can be provided with asubstantially opaque layer or coating with an opening for transmittingthe optical beam. Such an opening in an opaque coating can serve as anaperture or crude spatial filter by reducing the amount of stray lightthat exits the transmission surface. For example, in a bidirectionaldevice as described above, a fraction of the outgoing optical signalreflected from surface 202 might leak through the reflective coating andenter optical element 200. Such a leakage signal represents anundesirable background signal against which the incoming signal isdetected. A substantially opaque coating 205 on surface 204 with asuitably placed opening or aperture can selectively allow transmissionof the incoming optical signal through surface 204, while blocking atleast a portion of the leakage signal. In an optical element 200 thatincludes a lens 208 on surface 204, the opening in the opaque coating205 is positioned so that at least part of the lens 208 is exposed bythe opening through the opaque coating. Suitable coatings can include,but are not limited to, various reflective, scattering, or absorptivemetal or dielectric coatings; any suitable coating material(s) ormorphology can be employed. If an absorptive coating is employed, it canalso be adapted so as to suppress reflection or scattering. Someexamples of suitable absorptive and reflection-suppressing coatings aredisclosed in U.S. Pat. Publication No. US 2006/0251849 A1, incorporatedby reference as if fully set forth herein. Those examples typicallycomprise metal and dielectric layers arranged to suppress reflection ofand absorb incident optical signals.

To facilitate proper positioning of the optical element 200 on substrate102, the optical element can be provided with one or more alignmentmarks. Such marks are typically positioned on the optical element 200relative to one or both transmission surfaces 202 or 204, or relative tolens 208 or other feature on one of the transmission surfaces. Suchalignment marks are typically aligned visually (by human, aided human,or machine vision) with mating marks or features on the substrate 102during assembly of an optical device. One example of a suitablealignment mark is an exposed edge 210 of a metal layer on the opticalelement 200. Such a metal layer can be deposited during fabrication ofthe optical element (or, more typically, simultaneous fabrication ofmultiple optical elements 200 on a single substrate wafer; describedfurther hereinbelow), and then an edge of the layer can be exposed laterin the fabrication process, e.g., during separation of individualoptical elements from an wafer (also referred to as “singulation”). Byvirtue of the inherent accuracy of typical spatially-selective materialprocessing (e.g., etching or lithography), the alignment marks thusformed are positioned with a similar degree of accuracy and precision asthe transmission and alignment surfaces.

Instead of, or in addition to, alignment marks, mechanical alignmentstructures can be formed on the optical element 200 and arranged toengage a mating alignment structure on the substrate surface. Forexample, an alignment edge, ridge, surface, or other structure can beformed on the optical element and positioned against a mating alignmentedge, ridge, surface, or other structure formed on substrate 102.

The optical element 200 can be fabricated from any material sufficientlytransparent over any desired wavelength range. For opticaltelecommunications applications, wavelengths ranging from visible intothe near-IR (up to about 1.7 μm) are typically employed. Suitablematerials can include, but are not limited to, dielectric materials orsemiconductor materials. Materials employed can be amorphous orcrystalline. If crystalline, it can be advantageous to fabricate theoptical element 200 so that the transmission surfaces 202 or 204 or themounting surface 206 is substantially parallel to a respective crystalplane of the crystalline material. In some cases this can allow use ofcleaving or anisotropic wet etching to form the surface. Use of crystalplanes can also increase the accuracy or precision of the relativeorientations of the transmission and mounting surfaces of the opticalelement.

Any suitable fabrication techniques can be employed for forming theoptical element 200. It can be advantageous to fabricate simultaneouslymany optical elements on a common wafer using spatially-selectivematerial processing techniques, e.g., etching or lithography.

An exemplary method for forming multiple optical elements is illustratedschematically in FIGS. 3-10. Wafer 400 typically comprises a singlecrystal semiconductor wafer having parallel first and second surfaces400 a and 400 b that are parallel to a crystal plane of the crystallinesemiconductor material. The designations “first” and “second” are usedfor convenience of description only, and do not necessarily have anyfunctional significance unless explicitly stated. The method comprises(not necessarily in order): (i) spatially-selectively processing thefirst surface of the wafer to define multiple alignment features; (ii)spatially-selectively processing the second surface of the wafer todefine multiple lenses and multiple mounting surfaces; (iii) forming anoptical coating on the first wafer surface; and (iv) dividing (i.e.,singulating) the wafer into individual optical elements. Details ofspecific examples of each of these steps are given below. In thisexemplary fabrication process, an optical coating and alignment marksare formed on the first side of the wafer and a lens and mountingsurface are formed on the second side of the wafer. The wafer surfacescorrespond to the transmission surfaces of the optical elements that areeventually formed, with the length of the optical elements (betweentheir respective transmission surfaces) being roughly equal to the waferthickness (as reduced by any of the processing steps), typically severalhundred μm, e.g., for a silicon wafer. Any suitable wafer material orthickness can be employed as needed or desired.

FIG. 3 (a plan view of the first wafer surface 400 a) illustratesschematically the locations of multiple recessed areas 414 etched on thefirst surface 400 a of wafer 400. The recessed areas are typicallyformed by a masked etch process, but can be formed by any suitablespatially-selective material processing technique. The bottom or sidesurfaces (i.e., edges) of the etched recessed areas 414 define theeventual locations of the alignment features (alignment marks in thisexample; alternatively, alignment edges or surfaces or other structurescan be employed). Multiple trenches 422 are also shown etched on thefirst surface 400 a of wafer 400, and each circumscribes an area thateventually becomes the first transmission surface of the correspondingoptical element (as described further below). FIGS. 4 and 5 (plan andcross-sectional views, respectively, of wafer 400) illustrateschematically a metal coating 412 spatially-selectively deposited onwafer surface 400 a to cover the bottom and edges of the recessed areas414. The metal layer 412 can be deposited directly on the semiconductor,or on an oxide or other dielectric layer 411 deposited or grown orformed on wafer surface 400 a. The metal layer 412 or other subsequentlayers would still be considered “on” wafer surface 400 a, the presenceof an intervening dielectric layer notwithstanding. Spatially-selectivedeposition of metal layer 412 can be achieved by masked deposition ofthe metal layer, or by spatially-selective removal of the metal layerafter its non-selective deposition (e.g., via a “lift-off” process).Edges of the metal layer 412 are exposed in subsequent fabricationsteps, and the edges thus exposed comprise visible alignment markshaving locations determined by the bottom or edges of the etcheddepressions 414.

Optical functionality can be provided on the first wafer surface 400 ain any suitable way, including but not limited to those disclosed above.FIG. 6 illustrates schematically an optical coating 424 deposited on thewafer surface 400 a, including the bottom and edges of trenches 422. Thedeposited optical coating can be of any needed, desired, or suitabletype, including but not limited to an anti-reflection coating, ahigh-reflecting or partially-reflecting coating, a dichroic opticalcoating, or a spectrally-selective filter coating. Seams in thedeposited coating that typically form at the bottom of the trenches 422serve to limit fracturing of the coating that typically occurs when thewafer 400 is divided into individual optical elements (by saw cuts,cleaving, or other suitable means; described further below). A fracturethat propagates through the coating typically terminates at the seams intrenches 422, leaving substantially undisturbed the coating on thoseportions of the coating 424 circumscribed by corresponding trenches 422.

For limiting fracturing of an optical coating when the optical elementsare divided from one another, any suitable arrangement can be employedin which a discontinuity of the surface 600 a of a wafer 600 separates acircumscribed transmission area 624 (intended to transmit opticalsignals through the finished optical element) from the rest of the wafersurface 600 a (FIGS. 21A-21F). In FIGS. 21A and 21B, a trench 622 isshown surrounding area 624 intended to transmit optical signals andseparating area 624 from the remainder of the wafer surface 600 a(similar to the exemplary arrangements shown in FIGS. 3-20). In FIGS.21C and 21D, the area 624 comprises a plateau that protrudes from thesurrounding wafer area 600 a. In FIGS. 21E and 21F, the area 624 isrecessed relative to the surrounding wafer area 600 a. In all of theseexamples, seams that would typically appear in a trench or at an edge ofa plateau or recessed area serve to limit propagation of cracks in adeposited optical coating that might arise when the optical elements aredivided from one another. However, optical elements lacking suchfeatures (i.e., wherein the area intended to transmit optical signals iscontiguous with the surrounding wafer surface) shall also fall withinthe scope of the present disclosure or appended claims.

FIG. 7 (a view of the second wafer surface 400 b) and 8 (a wafer crosssection) schematically illustrate the formation of multiple mountingsurfaces 406 and multiple lenses 408 by processing the second surface400 b of the wafer 400. The mounting surfaces 406 and lenses 408 areappropriately positioned relative to the etched trenches 422 (ifpresent) and the etched depressions 414. The mounting surfaces 406 canbe formed by any suitable spatially-selective material processingtechnique for forming trenches or depressions in the wafer surface 400b, and typically comprise substantially flat side walls of such trenchesor depressions. For example, a masked, anisotropic wet etch process canbe employed so that the resulting mounting surfaces 406 are parallel toa crystal plane of the wafer 400. In another example, beam etching ofany suitable type (e.g., ion beam etching) can be employed to formmounting surfaces 406 at a desired angle relative to the substratesurface 400 b. The mounting surfaces 406 are often orientedsubstantially perpendicular to the substrate surface 400 b (resulting intransmission surfaces substantially perpendicular to the mountingsurface in the finished optical element), but this need not be the caseif a different relative orientation is needed or desired. The curvedportions of the second wafer surface 400 b that form the lenses 408 canbe formed by any suitable process, including but not limited to:spatially-selective deposition and subsequent reflow of material on thesecond wafer surface 400 b; a grayscale lithographic process, with orwithout reflow; a multistep or multilevel lithographic etch process,with or without reflow; or an etch step to form a flat plateau followedby an isotropic etch or other smoothing process. In one example, acircumscribed spot of deposited photoresist can be reflowed to form alens-like shape. Subsequent dry etching of that area of the wafertransfers the surface profile of the reflowed photoresist onto theetched wafer surface. Any other suitable process can be employed. Thelens 408 can be formed on a flush portion, a recessed portion, or araised portion of the second substrate surface 400 b. Forming a convexlens surface within a depression on the wafer surface (as in FIG. 15)can serve to protect the lens surface during subsequent processing orhandling of the wafer or the finished optical elements.

A metal coating or other substantially opaque coating 430 (as describedabove) can be deposited on the second substrate surface 400 b (FIG. 9).Openings are formed in the opaque coating 430 that leave the lenses 408at least partly exposed. The openings can be formed byspatially-selective masking of the lenses prior to deposition of theopaque coating 430, or by spatially-selective removal of portions of theopaque coating 430 from the lenses 408 after its deposition. The opaquecoating 430 can serve to reduce the amount of stray light transmittedthrough the finished optical element, as described above. If a metalopaque coating is employed, it can be extended onto the mountingsurfaces 406 to facilitate mounting of the optical element onto awaveguide substrate, e.g., by soldering or tacking onto metal members onthe waveguide substrate. In one example, the opaque coating 430 cancomprise layers of silicon with layers of titanium or chromium arrangedfor absorption and reflection suppression (as disclosed inpreviously-incorporated Pat. Pub. No. US 2006/0251849 A1), with a layerof gold deposited over them to facilitate soldering of the opticalelement to a waveguide substrate. The opaque coating can besubstantially uniform over surfaces 400 b and 406, or can vary amongthose surfaces or different regions thereof. For example, asubstantially conformal deposition process can produce substantiallyuniform layers on surfaces 400 b and 406. In contrast, a directionaldeposition process would typically result in coating thickness ormorphology that differed between surfaces 400 b and 406. If adirectional process were employed and directed toward a tiltedsubstrate, some areas of the wafer might be shaded and therefore leftuncoated (e.g., the wall of the trench opposite surface 406). Any ofthese variations in the opaque coating 430 shall fall within the scopeof the present disclosure or appended claims.

After processing the first and second wafer surfaces, the wafer 400 isdivided (i.e., singulated; e.g., by saw cuts 490 as in FIG. 10) intoindividual optical elements 401, each having coated transmission surfacearea 424, mounting surface 406, lens 408, and alignment marks 410 (FIGS.11A-11D). The individual optical elements 401 can be separated (i.e.,singulated) by any suitable method, including but not limited tocleaving the wafer or cutting the wafer (using a saw, laser, or othercutting tool). Recessed areas 414 are arranged so as to intersect cuts490 (or cleavage planes) separating one optical element from another,thereby exposing edges of the previously-deposited metal layer 412. Theexposed edges form alignment marks 410 on the optical element 401 forfacilitating proper positioning of the optical element on a waveguidesubstrate or other substrate surface. Whatever procedure is employed toseparate the individual optical elements, a protruding portion or ridge407 typically will be left adjacent the mounting surface 406. Thepresence of ridge 407 would interfere with proper positioning of theoptical element 401 on a flat mounting surface, e.g., on a waveguidesubstrate. A groove, slot, or pocket is typically formed on thewaveguide substrate adjacent a flat mounting portion thereof toaccommodate ridge 407 and allow proper engagement of the mountingsurface 406 with a substantially flat substrate.

Another exemplary embodiment of an optical element 501 is shown in FIGS.12A-12B, and an exemplary method for forming multiple such opticalelements is illustrated schematically in FIGS. 13-19. The exemplaryarrangements of FIGS. 12A and 12B are analogous to the arrangement ofFIG. 2A (bidirectional) and 2B (demultiplexer) and includedphotodetector 300. Arrangements analogous to FIGS. 2C and 2D thatinclude an additional waveguide (not shown) can also be implemented.Wafer 500 typically comprises a single crystal semiconductor waferhaving parallel first and second surfaces 500 a and 500 b that areparallel to a crystal plane of the crystalline semiconductor material.The designations “first” and “second” are used for convenience ofdescription only, and do not necessarily have any functionalsignificance unless explicitly stated. The method comprises (notnecessarily in order): (i) spatially-selectively processing the firstsurface of a wafer to define multiple alignment features and multiplelenses; (ii) spatially-selectively processing the first surface of thewafer to define multiple mounting surfaces; (iii) forming an opticalcoating on the second wafer surface; and (iv) dividing the wafer intoindividual optical elements. In this exemplary fabrication process, thelens, alignment marks, and mounting surface are formed on the first sideof the wafer and an optical coating is formed on the second side of thewafer. The wafer surfaces correspond to the transmission surfaces of theoptical elements that are eventually formed, with the length of theoptical elements (between their respective transmission surfaces) beingroughly equal to the wafer thickness (as reduced by any of theprocessing steps), typically several hundred μm, e.g., for a siliconwafer. Any suitable wafer material or thickness can be employed asneeded or desired.

FIG. 13 (a plan view of wafer surface 500 a) illustrates schematicallythe locations of multiple recessed areas 514 etched on the surface 500 aof wafer 500, and of multiple lenses 508 formed on surface 500 a ofwafer 500. The recessed areas 514 are typically formed by a masked etchprocess, but can be formed by any suitable spatially-selective materialprocessing technique. The bottom or side surfaces (i.e., edges) of theetched recessed areas 514 define the eventual locations of the alignmentfeatures (alignment edges in this example; alternatively, alignmentmarks or surfaces or other structures can be employed). Lenses 508 canbe formed by any suitable process, including those previously recited.

FIG. 14 (a view of the second wafer surface 500 b) and 15 (a wafer crosssection) schematically illustrate the formation of multiple areascircumscribed by trenches 522 and coated by optical coating 524 (of anydesired or suitable type). The trenches 522 are suitably positionedrelative to the areas 514 and lenses 508 formed on the opposite wafersurface 500 a. The optical coating 524 can be of any suitable type toprovide desired optical functionality on wafer surface 500 b (e.g.,reflective, anti-reflective, spectrally-selective, or dichroic).Trenches 522 serve to limit fracturing of the coating 524, as describedabove; the alternative arrangements of FIGS. 21A-21F can be employed. InFIGS. 16 and 17, trenches are shown formed (by dry or wet etching orother suitable spatially-selective material processing, as describedpreviously) on surface 500 a to form mounting surfaces 506, suitablypositioned relative to lenses 508 and recessed areas 514. For example, amasked, anisotropic wet etch process can be employed so that theresulting mounting surfaces 506 are parallel to a crystal plane of thewafer 500. In another example, beam etching (e.g., ion beam etching) ofany suitable type can be employed to form mounting surfaces 506 at adesired angle relative to the substrate surface 500 a. The mountingsurfaces 506 are often oriented substantially perpendicular to thesubstrate surface 500 a (resulting in transmission surfacessubstantially perpendicular to the mounting surface in the finishedoptical element), but this need not be the case if a different relativeorientation is needed or desired.

FIG. 18 (a cross-sectional view of wafer 500) illustrates schematicallya substantially opaque coating 530 spatially-selectively deposited onwafer surface 500 a, which covers the bottom and edges of the recessedareas 514 and mounting surface 506. The coating 530 can be depositeddirectly on the semiconductor, or on an oxide or other dielectric layerdeposited or grown or formed on wafer surface 500 a, and can compriseany suitable coating as described above. Openings are formed in thecoating 530 that leave the lenses 508 at least partly exposed, asdescribed previously. The coating 530 can serve to reduce the amount ofstray light transmitted through the finished optical element, asdescribed above. The portion of coating 530 extending onto the mountingsurfaces 506 to facilitate mounting of the optical element onto awaveguide substrate, e.g., by soldering or tacking onto metal members orcoatings on the waveguide substrate. Edges of the metal layer 530comprise visible alignment marks 510 having locations determined by thebottom or edges of the etched depressions 514.

After processing the first and second wafer surfaces, the wafer 500 isdivided (i.e., singulated; e.g., by saw cuts 590 as in FIG. 19) intoindividual optical elements 501, each having transmission surface area524, mounting surface 506, lens 508, and alignment marks 510 (FIGS.20A-20D). The individual optical elements 501 can be separated (i.e.,singulated) by any suitable method, including but not limited tocleaving the wafer or cutting the wafer (using a saw, laser, or othercutting tool). Recessed areas 514 are arranged so as to intersect cuts590 (or cleavage planes) separating one optical element from another,thereby exposing edges of the previously-deposited metal layer 530. Theexposed edges form an alignment feature 510 on the optical element 501for facilitating proper positioning of the optical element on awaveguide substrate or other substrate surface. As described previously,a protruding portion or ridge 507 typically will be left adjacent themounting surface 506 by whatever procedure is employed to separate theindividual optical elements. The presence of ridge 507 would interferewith proper positioning of the optical element 501 on a flat mountingsurface, e.g., on a waveguide substrate. A groove, slot, or pocket istypically formed on the waveguide substrate adjacent a flat mountingportion thereof to accommodate ridge 507 and allow proper engagement ofthe mounting surface 506 with a substantially flat substrate.

The respective embodiments formed by the processes of FIGS. 3-10 orFIGS. 13-19 differ in the placement of the alignment features 410 or 510relative to the coated surfaces 424/524 or lenses 408/508. The alignmentfeature 410 is on the same side of optical element 401 as thetransmission surface with the optical coating 424, and on the oppositeside of element 410 from the mounting surface 406 and the lens 408. Thealignment feature 510 is on the same side of optical element 501 as themounting surface 506 and the lens 508, and on the opposite side ofelement 501 from the transmission surface with the optical coating 524.Which of those arrangements is preferable in a given situation can bedetermined by a variety of factors, including ease or cost offabrication, visibility of the alignment features in the finishedoptical element, tolerance requirements for placement on the waveguidesubstrate of the coated surface versus the lens. Relative placement ofstructures formed on the same side of the wafer is not subject touncertainties in the thickness of the wafer. In instances whereinplacement of the coated surface relative to the waveguides has thetighter tolerance, the arrangement of optical element 410 might bepreferred, if available, practicable, or sufficiently readily oreconomically fabricated (all other factors being equal). In instanceswherein placement of the lens relative to the waveguides has the tightertolerance, the arrangement of optical element 501 might be preferred(all other factors being equal).

The specific ordering of steps in the exemplary process of FIG. 3-10 or13-19 can be varied, and processes having those steps performed indiffering orders shall fall within the scope of the present disclosureor appended claims.

Both exemplary processes (FIGS. 3-10 or FIGS. 13-19) enablesimultaneous, wafer-scale fabrication of multiple optical elements on asingle wafer during a single fabrication sequence. Hundreds, thousands,or tens of thousands of optical elements can be fabricatedsimultaneously, depending on the relative sizes of the wafer and thefinished optical elements. Wafer-scale coating of multiple opticalelements enables significant economies of scale to be realized.Wafer-scale testing or characterization can also be performed on theoptical elements before they are separated from one another (e.g.,between FIGS. 9 and 10, or between FIGS. 18 and 19).

It is intended that equivalents of the disclosed exemplary embodimentsand methods shall fall within the scope of the present disclosure and/orappended claims. It is intended that the disclosed exemplary embodimentsand methods, and equivalents thereof, may be modified while remainingwithin the scope of the present disclosure or appended claims.

For purposes of the present disclosure and appended claims, theconjunction “or” is to be construed inclusively (e.g., “a dog or a cat”would be interpreted as “a dog, or a cat, or both”; e.g., “a dog, a cat,or a mouse” would be interpreted as “a dog, or a cat, or a mouse, or anytwo, or all three”), unless: (i) it is explicitly stated otherwise,e.g., by use of “either . . . or”, “only one of . . . ”, or similarlanguage; or (ii) two or more of the listed alternatives are mutuallyexclusive within the particular context, in which case “or” wouldencompass only those combinations involving non-mutually-exclusivealternatives. For purposes of the present disclosure or appended claims,the words “comprising”, “including”, and “having” shall be construed asopen ended terminology, with the same meaning as if the phrase “atleast” were appended after each instance thereof.

1. An optical apparatus comprising: (a) a waveguide substrate having atleast one substrate alignment mark; (b) a first optical waveguide formedon the waveguide substrate; (c) an optical element mounted on thewaveguide substrate, the optical element comprising a volume ofsubstantially transparent material having opposing first and secondtransmission surfaces, a substantially flat mounting surface arrangedbetween the transmission surfaces, at least one element alignment mark,and an optical coating on the first transmission surface; and (d) aphotodetector mounted on the waveguide substrate, or a second opticalwaveguide formed on the waveguide substrate, wherein: the opticalelement is mounted on the waveguide substrate with the substantiallyflat mounting surface on a substantially flat mating portion of thesubstrate surface, the mounting surface being arranged so that theoptical element is self-supporting on the substrate surface; the opticalelement is arranged and positioned, with the element alignment marksubstantially aligned with the substrate alignment mark, so as toposition the first and second transmission surfaces at respectiveorientations relative to the substrate surface and the first waveguideso that a portion of an optical signal emerging as an optical beam froman end face of the first optical waveguide enters the optical elementthrough the first transmission surface, propagates as an optical beamthrough the optical element with the mounting surface between theoptical beam and the substrate surface, and exits the optical element asan optical beam through the second transmission surface without beinginternally reflected within the optical element; and the photodetectoror the second optical waveguide is positioned so as to receive, withouttransmission through an additional optical element, the portion of theoptical signal propagating as the optical beam exiting the opticalelement through the second transmission surface.
 2. The apparatus ofclaim 1 further comprising an additional optical waveguide formed on thewaveguide substrate, wherein the optical element is arranged andpositioned, with the element alignment mark substantially aligned withthe substrate alignment mark, so as to position the first transmissionsurface at an orientation relative to the substrate surface and relativeto the first optical waveguide and the additional optical waveguide soas to optically end-couple the first and additional optical waveguidesby external reflection from the first transmission surface.
 3. Theapparatus of claim 2 wherein the optical element further comprises alens formed on the second transmission surface, the lens comprising (i)a curved portion of the second transmission surface, (ii) a Fresnel lensformed on the second transmission surface, or (iii) an index-gradientlens formed at the second transmission surface, the lens being arrangedand positioned so that the optical beam transmitted through the secondtransmission surface passes through the lens.
 4. The apparatus of claim2 wherein the optical element further comprises an aperture on thesecond transmission surface, the aperture comprising an opening in asubstantially opaque coating on the second transmission surface, theaperture being arranged and positioned so that the optical beamtransmitted through the second transmission surface passes through theaperture.
 5. The apparatus of claim 4 wherein the substantially opaquecoating includes at least one metal layer.
 6. The apparatus of claim 2wherein: the optical element further comprises a lens formed on thesecond transmission surface, the lens comprising a curved portion of thesecond transmission surface, the lens being arranged and positioned sothat the optical beam transmitted through the second transmissionsurface passes through the lens; the optical element further comprisesan aperture on the second transmission surface, the aperture comprisingan opening in a substantially opaque coating on the second transmissionsurface, the aperture being arranged and positioned so that the opticalbeam transmitted through the second transmission surface passes throughthe aperture; at least a portion of the lens is exposed by the aperture;and the substantially opaque coating includes at least one metal layer.7. The apparatus of claim 2 wherein the element alignment mark comprisesan exposed edge of a metal layer on the optical element or ametal-coated surface formed on the optical element.
 8. The apparatus ofclaim 2 wherein the optical coating comprises a dichroic optical coatingor a spectrally-selective filter coating.
 9. The apparatus of claim 2wherein the optical element comprises semiconductor material.
 10. Theapparatus of claim 9 wherein at least one of the transmission surfacesor the mounting surface is substantially parallel to a correspondingcrystal plane of the semiconductor material.
 11. A method comprisingmounting an optical element on a waveguide substrate having a firstoptical waveguide formed thereon and at least one substrate alignmentmark, the waveguide substrate also having a second optical waveguideformed thereon or a photodetector mounted thereon, wherein: the opticalelement comprises a volume of substantially transparent material havingopposing first and second transmission surfaces, a substantially flatmounting surface arranged between the transmission surfaces, at leastone element alignment mark, and an optical coating on the firsttransmission surface; the optical element is mounted on the waveguidesubstrate with the mounting surface on a substantially flat matingportion of the substrate surface, the mounting surface being arranged sothat the optical element is self-supporting on the substrate surface;the optical element is arranged and positioned, with the elementalignment mark substantially aligned with the substrate alignment mark,so as to position the first and second transmission surfaces atrespective orientations relative to the substrate surface and to thewaveguide so that a portion of an optical signal emerging as an opticalbeam from an end face of the first optical waveguide enters the opticalelement through the first transmission surface, propagates as an opticalbeam through the optical element with the mounting surface between theoptical beam and the substrate surface, and exits the optical element asan optical beam through the second transmission surface without beinginternally reflected within the optical element; and the photodetectoror the second optical waveguide is positioned so as to receive, withouttransmission through an additional optical element, the portion of theoptical signal propagating as the optical beam exiting the opticalelement through the second transmission surface.
 12. The method of claim11 wherein: the waveguide substrate has an additional optical waveguideformed thereon; and the optical element is arranged and positioned, withthe element alignment mark substantially aligned with the substratealignment mark, so as to position the first transmission surface at anorientation relative to the substrate surface and to the first opticalwaveguide and the additional optical waveguide so as to opticallyend-couple the first and additional optical waveguides by externalreflection from the first transmission surface.
 13. The method of claim12 wherein the optical element further comprises a lens formed on thesecond transmission surface, the lens comprising (i) a curved portion ofthe second transmission surface, (ii) a Fresnel lens formed on thesecond transmission surface, or (iii) an index-gradient lens formed atthe second transmission surface, the lens being arranged and positionedso that the optical beam transmitted through the second transmissionsurface passes through the lens.
 14. The method of claim 12 wherein theoptical element further comprises an aperture on the second transmissionsurface, the aperture comprising an opening in a substantially opaquecoating on the second transmission surface, the aperture being arrangedand positioned so that the optical beam transmitted through the secondtransmission surface passes through the aperture.
 15. The method ofclaim 14 wherein the substantially opaque coating includes at least onemetal layer.
 16. The method of claim 12 wherein: the optical elementfurther comprises a lens formed on the second transmission surface, thelens comprising a curved portion of the second transmission surface, thelens being arranged and positioned so that the optical beam transmittedthrough the second transmission surface passes through the lens; theoptical element further comprises an aperture on the second transmissionsurface, the aperture comprising an opening in a substantially opaquecoating on the second transmission surface, the aperture being arrangedand positioned so that the optical beam transmitted through the secondtransmission surface passes through the aperture; at least a portion ofthe lens is exposed by the aperture; and the substantially opaquecoating includes at least one metal layer.
 17. The method of claim 12wherein the element alignment mark comprises an exposed edge of a metallayer on the optical element or a metal-coated surface formed on theoptical element.
 18. The method of claim 12 wherein the optical coatingcomprises a dichroic optical coating or a spectrally-selective filtercoating.
 19. The method of claim 12 wherein the optical elementcomprises semiconductor material.
 20. The method of claim 19 wherein atleast one of the transmission surfaces or the mounting surface issubstantially parallel to a corresponding crystal plane of thesemiconductor material.